What should be in a care worker's recruitment file for CQC?

What does CQC actually require in a recruitment file?

The rule is Regulation 19 of the 2014 Regulations, and CQC explains it on its own guidance page for Regulation 19. The regulation says staff must be of good character, have the qualifications, competence, skills and experience the work needs, and be able, after reasonable adjustments, to do the tasks that are part of the job. CQC's guidance then says the information about candidates set out in Schedule 3 of the regulations must be confirmed before they are employed.

That last point is the one I would underline for any registered manager. The checks are not something you finish once the person is on the rota. They come first.

CQC also reads "person employed" broadly. Its guidance says this includes volunteers and contractors, as well as agency or bank staff. So check that you can show the same checks for everyone who works in the service, not just your permanent staff.

What does Schedule 3 ask us to hold?

Schedule 3 of the 2014 Regulations is short, and it is worth reading in full rather than relying on a checklist someone handed down. I have set out what it asks for below, in plain terms, alongside where files tend to fall short.

What Schedule 3 asks for	What it looks like in the file	Where it often falls short
Proof of identity including a recent photograph	A copy of the identity document and a current photo, checked by a named person	A photo that is years old, or no note of who checked it
A criminal record certificate where the role allows one	The DBS certificate details, the level of check and whether barred list information came back	The wrong level of check for what the person actually does
Evidence of conduct in previous care or support work	References from employers in health or social care, or work with children or vulnerable adults	A character reference from a friend in place of a work reference
Why previous work with children or vulnerable adults ended	A verified reason, so far as reasonably practicable	The reason taken from the application form and never checked
Evidence of relevant qualifications	Copies of certificates, so far as reasonably practicable to obtain	A qualification listed on the CV with nothing to back it
A full employment history with gaps explained	A complete history and a written explanation of each gap	Gaps noticed at interview but never written down
Information about relevant health conditions	A health declaration tied to the tasks of the role	A generic questionnaire with no link to the job

Two words in that schedule carry more weight than they look. The first is satisfactory. Schedule 3 defines it as satisfactory in the opinion of the Commission, so the test is whether CQC would be content with what you hold, not whether you are. The second is written. Gaps in employment need a written explanation, and a conversation at interview is not one.

How do we get DBS checks right?

The level of check depends on what the person does, not their job title. The GOV.UK guidance on DBS checks for adult social care roles explains that a care worker who helps adults with personal care, such as eating, washing or dressing, is in regulated activity. Its worked example is a care worker who prompts and supervises a person with dementia, and it says that worker can be asked to apply for an Enhanced DBS check with an Adults' Barred List check.

The same guidance makes two points I would keep in front of whoever runs your recruitment. It applies whether the individuals are paid or unpaid. And any change to a role or to the activities a person carries out can affect the level of check that applies. A domestic who starts helping someone eat, or prompting and supervising them at mealtimes, may now need a different check from the one in their file.

Schedule 3 also asks for barred list information where it applies, so record whether it came back, not only the certificate number.

Why do recruitment files fall apart under a close look?

In my view, most weak files are not the result of carelessness. They come from checks that happen in the right order on a good week and get skipped on a bad one, when a shift needs covering and a promising candidate is ready to start.

The first common gap is employment history. A CV with a missing year is easy to read past. Schedule 3 asks for a full history and a satisfactory written explanation of any gaps, so the explanation has to be on paper and signed off, not remembered.

The second is references. Schedule 3 asks for evidence of conduct in previous employment in health or social care, or in work with children or vulnerable adults. A reference that says only that someone worked somewhere between two dates tells you very little about conduct. Follow it up and record that you did.

The third is agency and bank staff. CQC's guidance says checks may be carried out by another party, but providers must assure themselves that all checks are complete and satisfactory. A line in a contract saying the agency does the checks is not the same as you having seen the profile.

The fourth is the judgement call. Sometimes a check returns something and you still decide the person is right for the role. CQC's guidance says that where a provider considers an applicant suitable despite information about anything in Schedule 3, the provider's reasons should be recorded for future reference. A risk assessment with a name and a date on it protects the person, the people you support and you.

Does the file matter once someone has started?

Yes. Regulation 19 does not stop at the first day. CQC's guidance says providers should have systems to assess the competence of employees before they work unsupervised in a role, and that providers must regularly review the fitness of employees. It also expects providers employing social care support workers to follow the Care Certificate standards to assess their competence.

Under the single assessment framework, this all feeds the quality statement on safe and effective staffing. CQC describes what that statement means as safe recruitment practices that make sure all staff, including agency staff and volunteers, are suitably experienced, competent and able to carry out their role. Your recruitment files are the evidence for that sentence.

Where a role needs professional registration, such as a registered nurse, CQC's guidance says you must have a process to check that registration is appropriate and current. That is a check you repeat, not one you file once.

How do I audit our staff files?

Pick a sample that reflects your workforce: recent starters, longer serving staff, a night worker, a volunteer if you have them, and someone supplied by an agency. Then test each file against Schedule 3, line by line, using the table above.

For each file, look for three plain things. Every check should be complete before the start date. The evidence should be in the file, not in someone's memory or inbox. And where something was unusual, the decision should be written down with a name and a date.

Record what you find in a simple log, fix the gaps, and repeat the sample. If the same gap keeps appearing, the problem sits in the recruitment procedure rather than the individual file, and that is where the fix belongs. My post on why care audits never seem to change anything goes into how to make that kind of audit lead to real change.

When is this not the answer?

If a check has raised a concern about someone already working with you, an audit is not the first step. Make people safe, follow your safeguarding procedures and take the interim action CQC's guidance expects while concerns are looked into.

If the question is whether a dismissal or a refusal to employ is lawful, that is a matter for an employment solicitor or a qualified HR adviser, not a quality consultant. The same applies to immigration and right to work questions.

And if your files already hold every Schedule 3 item, with decisions recorded and a regular sample audit in place, you may not need outside help at all. Keep the audit going.

Where should I start?

This week, take five staff files at random and check each against the table above. Note anything missing, anything late and any decision with no reason written down. That one exercise will tell you whether your recruitment would stand up to a close look.

If you would like help, my quality assurance audits can test your files against Regulation 19 and Schedule 3, and my policy and procedure development work can build a recruitment procedure your team will follow on a busy week as well as a quiet one. When you are ready, book some time with me and we can go through your files together.